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Dec 19, 2018

2018’s Digital Engagement Leaders in Asset Management - Robust Personalization and Differentiation

We recently finished our third annual Digital Engagement Leaders evaluation—our largest ever—of 43 small, medium and large asset managers across their advisor websites, LinkedIn, Twitter and email, on desktops, smartphones and voice-activated devices.

Dec 18, 2018

Lincluden accelerates and simplifies rebalancing with Advent Genesis

Lincluden Investment Management previously utilized a trade-order-management system with built-in modeling functionality that served the firm well for many years. However, as the number of accounts grew, the Canadian firm ran up against the system’s limitations, especially in the process of modeling to trade creation.

Dec 17, 2018

Proposed harmonization of SEC and CFTC regulatory requirements: How alignment could alter regulatory reporting

Within the past month, both the Futures Industry Association (FIA) and the Managed Funds Association (MFA) have written to address both the Securities and Exchange Commission (SEC) and the Commodity Futures Trading Commission (CTFC) regarding regulation subject to dual registrants. These letters both urge the SEC and CFTC to work together to reduce the burden of regulatory requirements in different ways.

Dec 14, 2018

Advisor discretion and why it matters to digital marketing

It’s more important than ever for sales and marketing teams to know who their advisors are – and that includes knowing how they make investment decisions. Over the past few years, regulatory and economic pressures have driven big change in the business models and practices of financial advisors.

Dec 13, 2018

Planning for technology stack success

Are you confident with your technology partners? To be certain, ask these key questions when considering a new technology or when there are signs that a current partner is no longer the right fit.

Dec 12, 2018

2019 will be the year of the Opportunity Zone Fund

2019 is shaping up to be the year of the Opportunity Zone Fund. The most notable theme we see ahead in the next 12 months is the rush by investment managers to identify and invest in opportunities in real estate and operating businesses in a designated Qualified Opportunity Zone (QOZ). 

Dec 12, 2018

Jurisdictional variances for AIFMD Annex IV reporting

There is a variety of different reporting jurisdictions based on AIFM domiciles, which can create confusion and difficulty when submitting reports due to the different formats accepted and variation in submission portals. On top of that, some jurisdictions have different deadlines – meaning, if you are a manager that files to more than one jurisdiction, you may have two slightly different deadline dates and are therefore at risk of missing one.

Dec 11, 2018

5 areas to mark off your 2018 financial review checklist

The end of the year is a great time to take a step back and do a financial review, especially if your investment mix, risk tolerance, or time horizon has changed recently. When meeting with your financial advisor, consider whether these areas of your life are on track.